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SCHEDULE 12
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INFORMATION AND INVESTIGATIONS: CONNECTED PERSONS |
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PART I |
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RULES FOR SPECIFIC BODIES |
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Corporate bodies |
| | 1. If the authorised person ("BC") is a body corporate, a person who is or has been-
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(a) an officer or manager of BC or of a parent undertaking of BC; |
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(c) an agent of BC or of a parent undertaking of BC. |
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Partnerships |
| | 2. If the authorised person ("PP") is a partnership, a person who is or has been a member, manager, employee or agent of PP.
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Unincorporated associations |
| | 3. If the authorised person ("UA") is an unincorporated association of persons which is neither a partnership nor an unincorporated friendly society, a person who is or has been an officer, manager, employee or agent of UA.
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Friendly societies |
| | 4. - (1) If the authorised person ("FS") is a friendly society, a person who is or has been an officer, manager or employee of FS.
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(2) In relation to FS, "officer" and "manager" have the same meaning as in section 119(1) of the Friendly Societies Act 1992.
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Building societies |
| | 5. - (1) If the authorised person ("BS") is a building society, a person who is or has been an officer or employee of BS.
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(2) In relation to BS, "officer" has the same meaning as it has in section 119(1) of the Building Societies Act 1986.
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Individuals |
| | 6. If the authorised person ("IP") is an individual, a person who is or has been an employee or agent of IP.
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Application to sections 141 and 142 |
| | 7. For the purposes of sections 141 and 142, if the person under investigation is not an authorised person the references in this Part of this Schedule to an authorised person are to be taken to be references to the person under investigation.
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